Richard L. Heffner Jr

Richard Heffner, an English solicitor and U.S. qualified lawyer, advises on UK and U.S. financial services law, drawing on experience gained in-house, in private practice and with UK and U.S. regulators.

Mr. Heffner's in-house experience includes service as general counsel and compliance officer to a leading energy broker and alternative trading systems operator, and as head of compliance and enforcement at a start-up commodities clearing house.

He also served as enforcement counsel and legal team leader at the Financial Services Authority (now the Financial Conduct Authority) and one of its predecessors the Personal Investment Authority, where he handled a wide range of matters involving product providers and financial advisers.

His U.S. experience includes more than five years in private practice concentrating in securities and commodities litigation and arbitration and internships with the Enforcement Division of the U.S. Securities and Exchange Commission.

Mr. Heffner is recommended in the areas of investment funds, retail funds and financial services regulation by The Legal 500 UK 2017-19 editions.